Neutral Workshop Audio Files
The Neutral Audio Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program, such as the latest proposed rule changes, procedures, recent Regulatory Notices. The workshops are pre-recorded by senior Dispute Resolution staff several times each year, and posted here for neutrals to access at anytime.
The most recent Neutral Workshop follows:
October 31, 2011—Disclosure (MP3 28 MB)
The October 31 Neutral Workshop provides an overview of disclosure, one of the foundations of the arbitration process. Workshop faculty Kenneth Andrichik, Senior Vice President, Chief Counsel and Director of Mediation and Strategy, and Barbara Brady, Vice President and Director of Neutral Management, discuss:
- when disclosure is required;
- examples of the information and circumstances to disclose; and
- ramifications of not disclosing information.
The following links are referenced during the workshop:
- Arbitrator Information Update Form
- The Neutral Corner
- The Code of Arbitration Procedure
- The Arbitrator’s Guide
- Initial Pre-hearing Conference Arbitrator’s Script
- Hearing Procedure Script
Please send any questions or comments to FINRA DR Call-in Workshop mailbox.
Note: FINRA's neutral workshops are pre-recorded, which allows neutrals to pause and playback the audio file.
Listen to previous audio workshops.